DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C•••••• A•••• M••••••••• I•••
Latest filing Jul 31, 2026
First filing on the tape Mar 12, 2012 · 45 filings
SEC status approved since Jul 23, 2013
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$257M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$85.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$257M as of Jul 31, 2026
Mar 12, 2012$86.5M then
HNW client RAUM$170M as of Jul 31, 2026
Mar 24, 2018$103M then
State-registered IARs (5.B.3)4 as of Jul 31, 2026
Jan 22, 20143 then
Employees (5.A)5 as of Jul 31, 2026
Jan 22, 20145 then
Private funds: no history
RAUM +16% over the last fiscal year+10% a year over threeIARs 4 to 4offices 5 to 4
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $85.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $419,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $54.8M, 57 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$170M66%
- Individuals$87.2M34%
- Charitable organizations$524,0360.2%
- Individual clients
- 182reported
- HNW clients
- 88reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 613reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.8M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• J•••• L••••• | Ames, Ia | Apr 4, 2001 | 25 y | 1 |
| K••• P••••• B•••Certified Financial Planner | Ames, Ia | Mar 26, 2015 | 11 y | 0 |
| N•••• M•••••• C•••••Certified Financial Planner | Ames, Ia | Jul 26, 2017 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• K•••• P••••• · Secretarycontrolsince 04/2020 · owns less than 5%
- C•••••• N••••• M•••••• · Vice President, Coocontrolsince 04/2020 · owns less than 5%
- E•••••••• D•••••• L•• · President/Ceocontrolsince 11/2013 · owns less than 5%
- L•••••• S•••••• J•••• · Vice President, Ciocontrolsince 11/2013 · owns less than 5%
- S•••••• J•••• · Chief Compliance Officer, Treasurercontrolsince 01/2014 · owns less than 5%
- B•••• K•••• P••••• · Trusteecontrolsince 04/2016 · owns F of K••• A•• S••••• B••• R•••••••• T••••
- C•••••• N••••• M•••••• · Trusteecontrolsince 06/2017 · owns F of N•••• A•• S••••••• C••••• R•••••••• T••••
- E•••••••• D•••••• L•• · Trusteecontrolsince 12/2004 · owns F of D••••• A•• B•••• E••••••• R•••••••• T••••
- S•••••• J•••• · Trusteecontrolsince 06/2016 · owns F of S•••••• A•• J•••• S••••• R•••••••• T••••
- B•••• S••••• · Trusteesince 04/2016 · owns F of K••• A•• S••••• B••• R•••••••• T••••
- C•••••• S••••••• · Trusteesince 06/2017 · owns F of N•••• A•• S••••••• C••••• R•••••••• T••••
- E•••••••• B•••• · Trusteesince 12/2004 · owns F of D••••• A•• B•••• E••••••• R•••••••• T••••
- S•••••• S•••••• · Trusteesince 06/2016 · owns F of S•••••• A•• J•••• S••••• R•••••••• T••••
Entity owners
- D••••• A•• B•••• E••••••• R•••••••• T•••• · Ownerdirect · owns 50% to 75%
- K••• A•• S••••• B••• R•••••••• T•••• · Ownerdirect · owns 10% to 25%
- N•••• A•• S••••••• C••••• R•••••••• T•••• · Ownerdirect · owns 10% to 25%
- S•••••• A•• J•••• S••••• R•••••••• T•••• · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••• A•••• M••••••••• I••• as a related person
- 146897 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ames, Ia · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 5 to 4Mar 11, 2026 to Jul 31, 2026
- Accounts · 591 to 613Mar 21, 2025 to Mar 11, 2026
- HNW clients · 80 to 88Mar 21, 2025 to Mar 11, 2026
- Individual clients · 186 to 182Mar 21, 2025 to Mar 11, 2026
- Assets in custody · $48.5M to $54.8MMar 21, 2025 to Mar 11, 2026
- Discretionary RAUM · $222M to $257MMar 21, 2025 to Mar 11, 2026
- HNW RAUM · $141M to $170MMar 21, 2025 to Mar 11, 2026
- Individual RAUM · $80.5M to $87.2MMar 21, 2025 to Mar 11, 2026
- RAUM · $222M to $257MMar 21, 2025 to Mar 11, 2026
- Accounts · 573 to 591Oct 30, 2024 to Mar 21, 2025
- HNW clients · 69 to 80Oct 30, 2024 to Mar 21, 2025
- Individual clients · 195 to 186Oct 30, 2024 to Mar 21, 2025
- Assets in custody · $38.0M to $48.5MOct 30, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Oct 30, 2024 to Mar 21, 2025
- Discretionary RAUM · $204M to $222MOct 30, 2024 to Mar 21, 2025
- HNW RAUM · $121M to $141MOct 30, 2024 to Mar 21, 2025
- Individual RAUM · $83.2M to $80.5MOct 30, 2024 to Mar 21, 2025
- RAUM · $204M to $222MOct 30, 2024 to Mar 21, 2025
- Accounts · 582 to 573Nov 6, 2023 to Mar 12, 2024
- Advisory activities · 2 to 3Nov 6, 2023 to Mar 12, 2024
- HNW clients · 66 to 69Nov 6, 2023 to Mar 12, 2024
- Individual clients · 199 to 195Nov 6, 2023 to Mar 12, 2024
- Assets in custody · $31.0M to $38.0MNov 6, 2023 to Mar 12, 2024
- Discretionary RAUM · $191M to $204MNov 6, 2023 to Mar 12, 2024
- HNW RAUM · $109M to $121MNov 6, 2023 to Mar 12, 2024
- Individual RAUM · $81.3M to $83.2MNov 6, 2023 to Mar 12, 2024
- RAUM · $191M to $204MNov 6, 2023 to Mar 12, 2024
- Other offices · 6 to 5Mar 20, 2023 to Mar 21, 2023
- Accounts · 564 to 582Feb 2, 2022 to Mar 20, 2023
- HNW clients · 91 to 66Feb 2, 2022 to Mar 20, 2023
- Individual clients · 165 to 199Feb 2, 2022 to Mar 20, 2023
- Assets in custody · $34.6M to $31.0MFeb 2, 2022 to Mar 20, 2023
- Other offices · 5 to 6Feb 2, 2022 to Mar 20, 2023
- Discretionary RAUM · $227M to $191MFeb 2, 2022 to Mar 20, 2023
- HNW RAUM · $155M to $109MFeb 2, 2022 to Mar 20, 2023
- Individual RAUM · $71.3M to $81.3MFeb 2, 2022 to Mar 20, 2023
- RAUM · $227M to $191MFeb 2, 2022 to Mar 20, 2023
- Accounts · 523 to 564May 27, 2021 to Feb 2, 2022
- Charity clients · unset to 1.0May 27, 2021 to Feb 2, 2022
- HNW clients · 76 to 91May 27, 2021 to Feb 2, 2022
Signals
4 dated events
- S••••• J•••• L••••• no longer holds an investment adviser registration (last listed at C•••••• A•••• M••••••••• I••• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- C•••••• A•••• M••••••••• I••• reported 5 offices beyond its principal office, up from 0 (2021-02-08 to 2021-05-27)May 27, 2021 · Office count change · derived
- Ann Debra C••••• (Vice President/Treasurer/Cfo/Coo) no longer on Schedule A of C•••••• A•••• M••••••••• I••• (listed 2020-03-19, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- C•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jul 11, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••://INVESTMENTC••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515-233-3152reportedpublic record, Form ADV, Jul 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $85.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026